1. Institutional Mandates and Compliance Bill Hubbard Director, RSP RSP Summer School: 2nd - 4th June 2010, Madingley Hall, Cambridge

2. Mandates Institutional Open Access Mandates are seen by some as the panacea that will finally cure the deposit, incentive and engagement problems: but what are mandates and how effective can they be? This session explores what institutional mandates are - their drivers, incentives and sanctions - and how these have to be embedded within workflows. Institutional mandates are placed in a broader policy context and roles examined: how far should repository managers go in being the "compliance police"? Is compliance checking a change in the libraries relationship with academics - or an institutional duty?

3. What is the point of an Institutional Mandate?

4. Institutional Mandates - UK Roehampton University University College London (UCL) University of Edinburgh University of Leicester University of Salford University of Westminster proposed Aston University source: ROARMap 27/05/10 To this can be added University of Nottingham

5. Mandates - perspectives Mandates have a value-added basis with fast delivery of benefits for dissemination but also - Mandates are a way of harmonising process can drive development process can support development process engage academic body engagement can lead to self-mandating

6. Seamless development Need smooth transition academic habits and workflows research dissemination and discovery research process and management Need integrated processes relationship of repositories/ publishing/value-added services e.g. text mining Need integrated support consistent and authoritative information from all stakeholders at point of need

7. Researcher Funder Public Funder Institution Publisher Researchers view from the past... Funding

8. Researcher Funder Public Funder Institution Publisher Institutional Repository Researchers view from the past... Funding

9. Researcher Funder Public Funder Institution Researchers view Mandate

10. Researcher Funder Public Funder Institution Researchers view Mandate

11. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher ? Researchers view Mandate

12. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate

13. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

14. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

15. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

16. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

17. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

18. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

19. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

20. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

21. Researcher Funder Public Funder Institution Publisher with OA Option Open Access Publisher Central/subject Repository Institutional Repository ? ? Researchers view Mandate Funding Mandate

22. What do authors want to know What do I have to do? Are there restrictions on my publication route? Where can I get help?

23. First step - Compliance How can funders improve compliance? At the same time, how can authors be supported in complying?

24. For support staff Compliance support changes relationship with author for the better Produces material for institutional repository and subsequent value-added services and internal and public re-use Provides focus for promotion of service, rather than concept of open access

25. For funders Have a body of staff directly in touch with your authors A discrete body to inform of changes to conditions, policies etc for cascade Compliance checkers with their own motivation for ensuring OA outputs Increase compliance rates and thereby open access to funded research

26. For institutions Get a more complete picture of research output from the institution Ensure compliance with funders requirements as competitive advantage for future funding Enhance research reputation for efficiency and management Support authors in their work within the institution

27. What do institution staff need to know? Who is in receipt of a grant From which funder Funders policies Duration of grant Compliance history Information-set for grant grant number as key? What else?

28. What do institutions need to do? Identify key compliance support person e.g. repository manager, advocacy officer, research support officer, etc Create policies for recognition and recording of compliance Ensure authors can access integrated support advice and support service Proactively contact researchers as they write up and ensure compliance Liaise with funders

29. What do funders need to know? Who is the compliance support person in each institution? How can they be contacted? How can they be heard? Open Access output compliance from funded project - when and where and with what?

30. What do funders need to do? Ensure that compliance support officers have the information they need who, what, when, requirements Share compliance information Active liaison with institutional support staff as a body Need to engage more closely with institutional repositories: there are mutual benefits

31. Bill Hubbard bill.hubbard@nottingham.ac.uk

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